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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allen Ball is an experienced financial advisor with over 38 years in the industry. James is currently registered with Osaic Wealth, INC. in ST LOUIS PARK, MN. James has previously been registered with Securities America, INC., SII INVESTMENTS, INC., AXA ADVISORS, LLC, and THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES. James has Series 6, 7TO, 63, and 65 licenses and has a SIE exam. James focuses on working with individuals and 401(k) accounts. James Allen Ball helps manage individual portfolios, assists with education and reviews of 401(k) plans, and does some life insurance and annuity business. James Allen Ball is dedicated to helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
MN
06/14/2024 - Present
Osaic Wealth, Inc. (ST LOUIS PARK MN)
MN
11/29/2017 - 06/14/2024
SECURITIES AMERICA, INC. (BURNSVILLE MN)
MN
01/03/2006 - 11/29/2017
SII INVESTMENTS, INC. (BURNSVILLE MN)
NY
07/03/1985 - 01/06/2006
AXA ADVISORS, LLC (NEW YORK NY)
NY
07/03/1985 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 12/12/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/2/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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